UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (Right to Buy) | Â (1) | 09/14/2016 | Common Stock | 100,000 | $ 0.385 | D | Â |
Stock Option (Right to Buy) | Â (1) | 11/13/2017 | Common Stock | 20,454 | $ 1.265 | D | Â |
Stock Option (Right to Buy) | Â (1) | 07/22/2018 | Common Stock | 36,363 | $ 1.65 | D | Â |
Stock Option (Right to Buy) | Â (1) | 04/20/2019 | Common Stock | 22,727 | $ 0.99 | D | Â |
Stock Option (Right to Buy) | Â (1) | 02/25/2020 | Common Stock | 30,000 | $ 4.455 | D | Â |
Stock Option (Right to Buy) | Â (1) | 06/12/2022 | Common Stock | 40,909 | $ 3.465 | D | Â |
Stock Option (Right to Buy) | Â (1) | 02/10/2024 | Common Stock | 9,090 | $ 6.765 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Litton Mark James 11804 NORTH CREEK PARKWAY SOUTH BOTHELL, WA 98011 |
 |  |  Chief Business Officer |  |
/s/ Mark James Litton | 05/07/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The shares subject to this option shall vest and become exercisable at a rate of 25% of the total number of shares on the one-year anniversary of the vesting commencement date and 1/48th of the total number of shares each monthly anniversary of the vesting commencement date thereafter, for so long as the recipient of the option provides continuous service to the issuer, such that the total number of shares shall be fully vested on the four-year anniversary of the vesting commencement date. |